3 Website Compliance Questions You Need To Ask

Consider: FINRA categorizes your Website as advertising, and just as you are required to keep copies of your marketing materials, FINRA also requires that you keep archived copies of your Website.

1. Is your Website being stored on a regular basis, especially after updates?

Note: If you make changes to your Website and it is not archived, you are out of compliance.

[ih-myoo-tuh-buh l]
definition: Unchangeable, that which cannot be altered or changed.

2. Is your Website being archived to duplicate, unalterable storage devices to guarantee immutability and availability?

Note: Magnetic backup tapes and public "CLOUD" storage are likely not immutable, and SEC 17a-4(f)(3)(iii) requires that duplicate archives be stored separately.

3. Do you keep immutable archive copies of your Website for a minimum of 6 years?

Note: Industry guidelines vary, but six years is the standard retention period.